THOMAS C GRANT

THOMAS C GRANT is currently employed as a Broker and/or Investment Adviser at PARK AVENUE SECURITIES LLC located at 197 SCOTT SWAMP RD., FARMINGTON, CT, 06032.

THOMAS C GRANT has worked at PARK AVENUE SECURITIES LLC since December 17, 2004

Disclosure History

THOMAS C GRANT has 1 Disclosure Event(s).

Date: March 01, 1998
Category: Customer Dispute
Allegations: SUED CONCERNING THE TAXATION OF A LIFE POLICY THAT WAS A MEC SUIT WAS WITHDRAWN AND LEGAL FEES WERE PAID TO SUEING ATTORNEY.
Damage Amount Requested: $450,000.00
Settlement Amount: $12,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for THOMAS C GRANT, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.